Post on 24-Feb-2020
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TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office (TSO)
PERFORMANCE MEASURE DRIVER:Dan Favarulo The Secretary’s Office (TSO)
PURPOSE OF MEASURE:To track the efficiency of capital spending.
FREQUENCY:Quarterly
DATA COLLECTION METHODOLOGY:Track capital project spending versus the Consolidated Transportation Plan appropriated funds.
NATIONAL BENCHMARK:N/A
PERFORMANCE MEASURE 2.1Percent Capital Dollars Spent as ProgrammedThe purpose of this measure is to show MDOT’s customers that each TBU is spending its allocated capital dollars on a quarterly basis with the goal of efficiently meeting its allocation by the end of the fiscal year. Dollars spent divided by dollars appropriated will be compared to the same time period from previous fiscal years.
At the 1st Quarter Mark of FY 2017, MDOT’s capital program spending rate was at 18 percent of capital budgeted funds expended, which is 3 percent higher than the historically average of 15 percent expended at this time of year. MDOT’s latest capital forecast is predicting a 100 percent expenditure rate in FY 2017. This is unlikely to occur due to looming budget cuts.
5 Yr Capital Program Expenditure Rate Trend Line - State & Federal
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MDOT receives resources from our customers and they expect products and services in return. To better serve our customers, MDOT must maximize the value of every dollar we spend.
RESULT DRIVER:
Corey Stottlemyer The Secretary’s Office (TSO)
Use Resources Wisely
TANGIBLE RESULT #2
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PERFORMANCE MEASURE 2.1Percent Capital Dollars Spent as ProgrammedMDOT is currently projected to expend $14M over the $2.8 billion budget program. In the last three years by the 3rd Quarter Program Development MDOT has usually already lowered their capital forecast to below budget levels. The Purple Line project increases in FY17 have offset the usual TBU program reductions at this time of year.
When breaking down each TBU, almost all have improved upon their FY16 1Q expenditure rate. Most notably is MPA which has shown a steady increase in expenditure peformnace due to Budget Development Strategies.
FY17 Budget vs. 3Q Projected Amounts
$1,772
$2,043
$2,282
$2,376
$2,821
$1,721
$1,923
$2,366
$2,657
$2,807
$1,500 $1,700 $1,900 $2,100 $2,300 $2,500 $2,700 $2,900
FY13
FY14
FY 15
FY 16
FY 17
Funding in Millions
Budget Request
3Q Projected
$1,772
$2,043
$2,282
$2,376
$2,821
$1,721
$1,923
$2,366
$2,657
$2,807
$1,500 $1,700 $1,900 $2,100 $2,300 $2,500 $2,700 $2,900
FY13
FY14
FY 15
FY 16
FY 17
Funding in Millions
Budget Request
3Q Projected
PERFORMANCE MEASURE 2.1Percent Capital Dollars Spent as Programmed
3 Yr Expenditure Rate by Mode at Year End - State & Federal
15%
10%
10%
9%
19%
16%
52%
9%
20%
14%
4%
6%
17%
7%
26%
1%
20%
28%
7%
4%
18%
25%
45%
6%
0% 10% 20% 30% 40% 50% 60%
MAA
MPA
MTA
MVA
SHA
TSO
WMATA
MDTA
Percent of Budget Expended
2017
2016
2015
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Headline CopyHeadline Copy
PERFORMANCE MEASURE 2.1Percent Capital Dollars Spent as ProgrammedMTA’s Purple Line project is roughly 15 percent of the total MDOT Program and greatly affects MDOT’s overall expenditure rate. Monitoring this project will provide early warnings of hitting budget projections. This project has historically missed funding targets and is currently projecting expenditures higher than budgeted, which is inflating MDOT’s overall expenditure rate peformnace. Past spending peformnace and the latest project schedules indicate that the current forecasted amount is unlikely to be obtained.
Major SHA Projects Budgeted vs. Expended (Federal & State)
MTA – Purple Line Budgeted vs. Expended (Federal & State)
$117
$416
$310
$191
$487
$381
$274
$-
$100
$200
$300
$400
$500
$600
FY17 FY16 FY15
Mill
ions
Expended Projected Budget Request
$74
$424
$127
$45
$332 $313
$159
$-
$50
$100
$150
$200
$250
$300
$350
$400
$450
FY17 FY16 FY15
Mill
ions
Expended Projected Budget Request
PERFORMANCE MEASURE 2.1Percent Capital Dollars Spent as ProgrammedSHA is a major contributing factor to the overall MDOT expenditure rate due to the size and scope of their program. As a result, keeping a pulse on their expenditure rates by the different SHA Fund Programs will proactively monitor any for early warnings. Currently all of their large programs are meeting or exceeding their historical expenditure rates at this time of year, with the exception of the Major Projects (Funds 70, 71 & 72). SHA’s major projects is currently trending 2 percent lower than the historical average at this time each year. While this is not a significant difference, the latest forecasted amount for Major Projects is $70M lowered than budgeted due to several large project schedule changes and revised estimates.
SHA - 1Q Mark Expenditure Rates By Program
14%
25%
22%
3%
25%
16%
12%
25%22%
11%
28%
24%
0%
5%
10%
15%
20%
25%
30%
Major Projects Resurfacing Bridge TMDL Facilities TrafficManagement
5 Yr Average FY17
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TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office (TSO)
PERFORMANCE MEASURE DRIVER:Dan Favarulo The Secretary’s Office (TSO)
PURPOSE OF MEASURE:To measure the amount of other sources of dollars utilized to fund capital projects as an indicator of MDOT’s efforts to leverage its finite resources.
FREQUENCY:Annually (in April)
DATA COLLECTION METHODOLOGY:This measure will track capital projects using 10 percent or more of funds from other sources.
NATIONAL BENCHMARK:N/A
PERFORMANCE MEASURE 2.2Percent of Projects Leveraging Other Funding SourcesThe purpose of this measure is to track and highlight incidences to leverage Transportation Trust Fund (TTF) dollars with local and private dollars in an effort to better understand how MDOT is using its finite financial resources. Only projects that have at least 10 percent of the cost being covered by partners is included under this measure. Information is presented in two values: percent of projects and percent of additional dollars contributed from partners.
FY 2016 – FY 2021 Consolidated Transportation Program (CTP) Projects Using 10 Percent or More Funds from Other Sources
As a Percentage of Projects
Number Projects % of Projects
Total Projects 1,389 100%
Projects w/No Other Funding 1,328 96%
Projects w/Other Funding 61 4%
As a Percentage of Funding
Source Funding % of Funding
Total $15,817,983 100%
State $9,647,987 61%
Federal $4.956.488 31%
Other $1,213,508 8%
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PERFORMANCE MEASURE 2.3Employee EngagementEngagement accounts for the emotional commitment an employee has for an organization and the amount of discretionary effort the employee expends on behalf of that organization. Engaged employees go beyond what they “have to do” to what they “want to do” for their employer and customers.
MDOT’s TBUs strongly support employee engagement initiatives and recent practices have collected workforce feedback through the use of employee surveys. However, staffing fluctuations and limited financial resources are a continued challenge for employee engagement efforts.
MDOT can ensure a systematic and consistent approach to employee engagement by combining talent, effort and resources under a single agency-wide survey, while also avoiding redundancies and minimizing expense. MDOT has partnered with an outside research institute to administer this comprehensive employee survey in January 2017.
TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office (TSO)
PERFORMANCE MEASURE DRIVER:Amber Harvey Maryland Transportation Authority (MDTA)
PURPOSE OF MEASURE:To track the commitment of our employees in furthering MDOT’s reputation, mission and interests by identifying key motivators and obstacles in the workplace.
FREQUENCY:Annually (in January)
DATA COLLECTION METHODOLOGY:Develop and implement one MDOT employee engagement survey administered to all employees. Online and hard copies will be made available. Cloud-based and mobile platforms are a consideration.
NATIONAL BENCHMARK:*GALLUP 2015 national engagement percentages:
32 percent Engaged employees
50.8 percent not engaged
17.2 percent actively disengaged
*International Public Management Association for Human Resources 2012 and 2014 data available
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PERFORMANCE MEASURE 2.4 Employee Turnover RateAnnual employee turnover rate is the ratio of total separations, both voluntary and involuntary, compared to the average number of employees during the given timeframe, expressed as a percentage. The Human Resource Information System (HRIS) Unit in the Human Resources Division of the TSO provided the total number of employees and total number of separations for each TBU on a quarterly basis. The national benchmark was determined by utilizing the U.S. Bureau of Labor Statistics’ Job Opening and Labor Turnover Survey (JOLTS) data for U.S. state and local governments (excluding education) total employee separations.
As shown in the chart below, several TBUs experienced a decrease or stable turnover rate for the 1st quarter (Q1) of FY 2017 compared to FY 2016. The MDOT total employee turnover rate also decreased while still remaining well below the national turnover average for state and local governments. This reflects a positive trend.
TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office (TSO)
PERFORMANCE MEASURE DRIVER:Amber Harvey Maryland Transportation Authority (MDTA)
PURPOSE OF MEASURE:To identify the percentage of employees who leave MDOT and analyze trends in voluntary and involuntary separations.
FREQUENCY:Quarterly
DATA COLLECTION METHODOLOGY:Quarterly reports of employee separations are provided by TSO HRIS Unit. These reports show the number of separations during a given period of time for each TBU broken down by all available separation codes (i.e. reasons).
NATIONAL BENCHMARK:U.S. Department of Labor (DOL) Bureau of Labor Statistics for U.S. State and Local Governments
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PERFORMANCE MEASURE 2.4 Employee Turnover RateThe next table illustrates employee turnover rates for each MDOT Business Unit for the first quarter of fiscal year 2017.
Q1 TBU Turnover Rates
1st Quarter Turnover Comparison
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PERFORMANCE MEASURE 2.4 Employee Turnover RateOne notable element that continues to be important in analyzing MDOT turnover is the employee separations that occur within one year from the date of hire. The following chart illustrates the number of newly hired employees that have separated from MDOT in comparison to all other separations during Q1 of FY 2017. This data reflects that approximately 19% percent of all employee separations during this timeframe occurred within the first year of hire.
FY 2017 Q1 Total Employee Separations
8
51
31
51
37
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TSO SHA MDTA MTA MVA MAA MPA
Other Separations Within 1 year of hire
Several action strategies are underway to address employee turnover concerns. In October 2016, MDOT- MTA successfully identified and resolved a payroll system coding limitation that now allows the appropriate reason for separation to be tracked for all MTA employees, including TSHRS and union employees. Properly identifying the reason these employees choose to leave MDOT is a crucial factor in developing successful business practices to retain a healthy workforce and lower turnover costs. In addition, MDOT – TSO collected exit interview procedures and materials from all TBUs and a review of these materials is underway to determine best practices and areas for improvement. MDOT – TSO is also leading the effort of developing a MDOT employee separation policy to document and standardize necessary procedures.
2.7
5.0
2.3
5.3
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1.0%
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5.0%
6.0%
MDOT National State & LocalGovernment*
FY16 FY17
5.1
2.82.5 2.4
3.3
1.9
2.92.9
2.22.5
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Union
TSHRSTSHRS
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PERFORMANCE MEASURE 2.5Time to Fill Vacancies
Average Time to Fill Vacancies (July 1 - September 30, 2016)
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TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office (TSO)
PERFORMANCE MEASURE DRIVER:Deborah Hammel State Highway Administration (SHA)
PURPOSE OF MEASURE:To demonstrate efficient use of available positions and identify opportunities for improvement in our recruitment and selection processes.
FREQUENCY:Quarterly
DATA COLLECTION METHODOLOGY:Quarterly report for MDOT and each TBU from HRIS housed at TSO, with input from TBU Human Resource Directors.
NATIONAL BENCHMARK:N/A
PERFORMANCE MEASURE 2.5Time to Fill VacanciesReducing the time it takes to fill our vacant positions will increase MDOT’s staffing levels, improving the ability to deliver projects on time and rapidly address emergencies affecting the transportation system.
All TBUs submitted data on the amount of time involved with each stage of the recruiting process for the period July 1 – September 30, 2016, including Hiring Freeze Exemptions, Selection Plans, Classification Reviews, Selection Plans, Job Posting, distribution of Eligible Lists, scheduling interviews and filling the vacancies. Average time to fill ranged from a low of 45 days for MTA Union to a high of 223 days for SHA. The overall MDOT average for this quarter is 149.6 days, trending down. The elimination of the Hiring Freeze Exemption Request process recently announced should result in further efficiencies in our process.
TBUs have implemented a number of strategies to improve time to fill, including: biweekly reports or meetings to review vacancies and recruiting activity; posting job announcements pending submission of Selection Plan questions and interview panel members; developing and distributing recruiting timelines to Senior Managers and Hiring Managers for increased accountability; and reallocating vacant PINs over 6 months old.
211.2223
191.5
154.6
45.3
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121.8
167.3
140.8
0
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Cale
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s
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Interviews Interviews Selection Plans Selection Plans Interviews Studies Eligible List Studies Studies
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Steps in the Filling Vacancy Process Averaging Greater Than 30 Calendar Days
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PERFORMANCE MEASURE 2.6Percentage of Fixed Asset Units Identified or Accounted for During the Annual Physical Inventory of Fixed Assets
Assets Measured - 2015
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TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office (TSO)
PERFORMANCE MEASURE DRIVER:Bill Bertrand State Highway Administration (SHA)
PURPOSE OF MEASURE:To calculate the percentage of Fixed Asset Units counted during the Annual Physical Inventory of Fixed Assets as an indicator of how well MDOT records, safeguards, and efficiently controls fixed assets.
FREQUENCY:Annually (in October)
DATA COLLECTION METHODOLOGY:Data will be collected when the business units conduct annual fixed asset physical inventories.
NATIONAL BENCHMARK:N/A
PERFORMANCE MEASURE 2.6Percentage of Fixed Asset Units Identified or Accounted for During the Annual Physical Inventory of Fixed AssetsThis performance measure is intended to emphasize the importance of stewardship and internal controls with respect to fixed assets owned by each of MDOT’s business units. This performance measure reports the percentage of fixed assets counted by each business unit during its annual fixed asset physical inventory versus the number of fixed assets recorded in each business unit’s official inventory records.
A regularly-conducted physical inventory of fixed assets ensures accurate information for the management of assets and discourages fraud.
Currently, five of seven business units conduct a full inventory of Non-Sensitive Items once every three years and a full inventory of Sensitive Items annually. The remaining business units, MAA and SHA, conduct a full inventory of both sensitive and non-sensitive items annually.
TSO SHA MDTA MTA MVA MAA MPA MDOTSensi/veAssets 94.9% 0.0% 82.8% 77.7% 95.7% 98.6% 100.0% 89.9%
Non-Sensi/veAssets 94.9% 91.4% 0.0% 76.7% 100.0% 99.0% 100.0% 87.9%
TotalAssets 94.9% 91.4% 82.8% 77.3% 95.8% 98.8% 100.0% 89.4%
0.0%
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40.0%
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80.0%
100.0%
AssestsMeasured-2015
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PERFORMANCE MEASURE 2.6Percentage of Fixed Asset Units Identified or Accounted for During the Annual Physical Inventory of Fixed Assets
Assets Measured - 2015
TSO SHA MDTA MTA MVA MAA MPA MDOTSensi/veAssets 94.9% 0.0% 82.8% 77.7% 95.7% 98.6% 100.0% 89.9%
Non-Sensi/veAssets 94.9% 91.4% 0.0% 76.7% 100.0% 99.0% 100.0% 87.9%
TotalAssets 94.9% 91.4% 82.8% 77.3% 95.8% 98.8% 100.0% 89.4%
0.0%
20.0%
40.0%
60.0%
80.0%
100.0%
AssestsMeasured-2015
TSO SHA MDTA MTA MVA MAA MPA MDOTSensi/veAssets 94.9% 0.0% 82.8% 77.7% 95.7% 98.6% 100.0% 89.9%
Non-Sensi/veAssets 94.9% 91.4% 0.0% 76.7% 100.0% 99.0% 100.0% 87.9%
TotalAssets 94.9% 91.4% 82.8% 77.3% 95.8% 98.8% 100.0% 89.4%
0.0%
20.0%
40.0%
60.0%
80.0%
100.0%
AssestsMeasured-2015
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TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office (TSO)
PERFORMANCE MEASURE DRIVER:Tony Moore Maryland Port Administration (MPA)
Nicole Katsikides State Highway Administration (SHA)
PURPOSE OF MEASURE:Provide an overview which shows how TBUs monitor asset management activities.
FREQUENCY:Annually (in January)
DATA COLLECTION METHODOLOGY:Asset inspection condition and asset life-cycle cost analyses are compiled at the TBU level.
NATIONAL BENCHMARK:N/A
PERFORMANCE MEASURE 2.7 Managing Capital AssetsOur customers deserve to know that MDOT is strategically managing its diverse capital assets. Each TBU maintains its physical assets according to policies that minimize asset life-cycle cost while avoiding negative impacts on the delivery of transit services.
MTA, SHA, MAA, MDTA and MPA perform annual bridge inspections per Federal guidelines to assess a rating, which is used to determine if any remedy is required to keep bridges structurally sound.
SHA and MDTA monitor the condition of pavement and road ride smoothness; monitoring is performed by annual road inspections.
MTA monitors rail conditions for MTA Metro and Light Rail systems using TERM Lite evaluation software to evaluate guideway, track work and special structures. Evaluation will occur during an annual asset inventory.
MPA utilizes U.S. Army Corps of Engineers bay channel annual inspection surveys to monitor the dredging depth for shipping access channels to the Port of Baltimore.
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PERFORMANCE MEASURE 2.7 Managing Capital Assets
TBU Active Asset Mgt Criteria Basis Assets Managed Inspection
Intervals Performance Measures
Multiple Yes Bridge condition Structurally deficient bridges Annual 2.7a - % of structurally
deficient bridges
MTA Yes Rail condition Light and heavy rail Annual2.7c - % of MTA owned rail in good quality based on FTA ranking guide lines
SHA/MDTA Yes Roadway ride condition
Roadways - With acceptable (smooth) rides Annual
2.7b - % of roadway miles with acceptable (smooth) ride quality
SHA YesInterstate pavement condition (good or not good).
Interstates and non-interstate pavement Annual
2.7e/2.7f - % of interstate and non-interstate pavement which are in good condition
MPA Yes Bay channel dredging priority Shipping channel depth Annual 2.7d - % of channel depth
inspections
2.7A – Number of Structurally Deficient Bridges CY 2015
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PERFORMANCE MEASURE 2.7Managing Capital Assets
2.7B – Percent of SHA and MDTA Roadway Miles with Acceptable (Smooth) Rides
86% 86% 86% 87% 87%
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100%
PercentofSHAandMDTARoadwayMileswithAcceptable(Smooth)Rides
2011 2012 2013 2014 2015
2.7C – Rating of Rail in “Good” Condition 2.7D – Percentage of Channel Segments with U.S. Army Corps of Enginners Channel Inspection Less Than or Equal to
1 Year Old
3.754.16
2.46
3.582.86
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5
Bal/moreMetro LightRail
Ra#ngofRailin"Good"Condi#on
Guideway Trackwork SpecialStructures
3.754.16
2.46
3.582.86
3.37
0
1
2
3
4
5
Bal/moreMetro LightRail
Ra#ngofRailin"Good"Condi#on
Guideway Trackwork SpecialStructures
3.754.16
2.46
3.582.86
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5
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Ra#ngofRailin"Good"Condi#on
Guideway Trackwork SpecialStructures
50%
84% 81% 84%94%
0%
20%
40%
60%
80%
100%
PercentofBayChannelInspected
2011 2012 2013 2014 2015
50%
84% 81% 84%94%
0%
20%
40%
60%
80%
100%
PercentofBayChannelInspected
2011 2012 2013 2014 2015
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Coun
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# of Bridges # of Deficient Bridges
% of Deficient 2.7% 8.9% 0.3% 0% 0% Bridges
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SHA MDTA MTA MAA MPA
Coun
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% of Deficient 2.7% 8.9% 0.3% 0% 0% Bridges
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PERFORMANCE MEASURE 2.7Managing Capital Assets
2.7E – Percent of Interstate Pavement in “Acceptable” Condition
95% 96% 95% 96% 96%
0%
20%
40%
60%
80%
100%
PercentofInterstatePavementin"Acceptable"Condi7on
2011 2012 2013 2014 2015
2.7F – Percent of Non-Interstate Pavement in “Acceptable” Condition
92% 88% 87% 86% 87%
0%
20%
40%
60%
80%
100%
PercentofNon-InterstatePavementin"Acceptable"Condi9on
2011 2012 2013 2014 2015
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TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office (TSO)
PERFORMANCE MEASURE DRIVER:Pretam Harry Motor Vehicle Administration (MVA)
PURPOSE OF MEASURE:To track the timeliness and ability to match the budgets of the procurement process to be more efficient in our contracts.
FREQUENCY:Annually (in October)
DATA COLLECTION METHODOLOGY:Focus reports MDOT wide showing all active BPO for the fiscal year.
NATIONAL BENCHMARK:N/A
PERFORMANCE MEASURE 2.8Percent of Procurement on Time and on BudgetThe purpose of this measure is to encourage all managers to proactively monitor and manage each of their procurements to make sure they are in line with the project and budget in an effort to improve overall contracting efficiencies. Over time, managers will do a better job at setting timelines and budgets for projects. Managers will report the project status accurately and in a timely manner so that problems are identified early and corrective action taken swiftly.
While the trend is improving, we have not addressed underlying issues. The focus must remain on identifying those contracts with issues. The process improvement team is working to understand the systemic problems that prevent contracts that should have been closed in FY2016 from being closed.
Percent of Blanket Purchase Orders (BPO) Expired
Number of Blanket Purchase Order (BPO) Awards and Expires
73.6%77.7%
84.3%86.8%
65.0%
70.0%
75.0%
80.0%
85.0%
90.0%
FY13 FY14 FY15 FY16
PercentofBlanketPurchaseOrders(BPO)Expired
BPO
1,650
1,250
2,0101,835
1,450 1,340
2,184 2,225
-
500
1,000
1,500
2,000
2,500
FY13 FY14 FY15 FY16
Awarded Expired
39 40
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TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office (TSO)
PERFORMANCE MEASURE DRIVER:Pretam Harry Motor Vehicle Administration (MVA)
PURPOSE OF MEASURE:To measure (a) the percent of occurrences and (b) the dollar value of unanticipated contract modifications on procurement contracts.
FREQUENCY:Annually (in October)
DATA COLLECTION METHODOLOGY:MDOT wide showing active unanticipated contract modifications equal to or greater than $1 million.
NATIONAL BENCHMARK:N/A
PERFORMANCE MEASURE 2.9Percent and Value of Unanticipated Contract ModificationsThe purpose of this measure is to encourage all managers to proactively monitor and manage each of their procurements to make sure that they are minimizing the value and amount of unanticipated contract modifications. In addition, it will encourage project staff to use timely and accurate reports that managers can analyze to examine trends in unanticipated contract modifications.
The amount and value of contract modifications will vary from one TBU to another depending on the type of project. For example, construction contracts, because of the uncertainties due to weather conditions or soil conditions, may require more contract modifications than building maintenance contracts. Similarly, an IT development contract may require more contract modifications than an IT maintenance contract.
Value of Unanticipated Contract Modifications in Millions of Dollars
PERFORMANCE MEASURE 2.9Percent and Value of Unanticipated Contract Modifications
Percent of Unanticipated Contract Modification Dollars Spent by TBU FY 15 & FY 16
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Percent of Unanticipated Contract Modification Dollars Spent by Category of Work in FY 15 & FY 16$187
$116
$-
$50
$100
$150
$200
FY15 FY16
ValueofUnan+cipatedContractModifica+onsinMillionsofDollars
40%
13% 6% 2% 1%
38%
88%
3% 0% 0% 3% 5%0%
20%40%60%80%
100%
Architecturaland
Engineering
Construc<on Construc<onRelatedServices
Commodi<es,SuppliesandEquipment
Maintenance Services
PercentofUnan,cipatedContractModifica,onDollarsSpentbyCategoryofWorkinFY15&FY
16
0%
32%48%
1% 8% 11%0%
88%
1% 0% 5% 5%0%
20%
40%
60%
80%
100%
TSO SHA MTA MVA MAA MPA
PercentofUnan,cipatedContractModifica,onDollarsSpentbyTBUFY
15&FY16
41 42
TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office (TSO)
PERFORMANCE MEASURE DRIVER:Laura Getty Maryland Transit Administration (MTA)
PURPOSE OF MEASURE:To understand how procurement competition impacts MDOT resources.
FREQUENCY:Quarterly
DATA COLLECTION METHODOLOGY:Data was collected on each TBU procurement contract over $200,000 during the first quarter of FY 2017. Sole source, emergency, and intergovernmental purchasing procurements were not included, as they have their own processes for determination. Procurement contract ID, number of bids, estimated cost and final contract amount were the used data points.
NATIONAL BENCHMARK:N/A
PERFORMANCE MEASURE 2.10Relationship Between Procurement Competition and CostThe purpose of this performance measure is to assess the impact of procurement competitiveness on contract costs, testing the hypothesis that increased competition leads to a better price. The chart below suggests that, as the number of bids increase, procurement contracts come in at or below cost estimate (-100 percent -0 percent). The procurements that increased in cost had a low number of bids. The data trend presents an opportunity to develop an MDOT-wide initiative to track cost estimates on procurement contracts and to evaluate the process for determining estimates.
Percent Change from Estimated Cost to Final Contract Amount
Use Resources Wisely Use Resources Wisely
TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office (TSO)
PERFORMANCE MEASURE DRIVER:Patrick Bradley Maryland Aviation Administration
PURPOSE OF MEASURE:To monitor compliance with State and organizational operating processes and procedures each year by tracking the number of Internal Audit Findings and Repeat Internal Audit Findings.
FREQUENCY:Annually (in October)
DATA COLLECTION METHODOLOGY:Information collected from TBU audit databases.
NATIONAL BENCHMARK:N/A
PERFORMANCE MEASURE 2.11Number of Internal Audit Findings and Number of Repeat Internal Audit FindingsTransparent, informative, and accurate financial reporting is essential for our customers to have confidence in MDOT’s ability to manage resources. Audits provide a window into current systems and areas for improvement.
Data will be presented by TBU in the number of audit findings and repeat audit findings on an annual basis. This will encourage MDOT and each TBU to avoid audit and repeat audit findings.
In FY 2013-2016, there were 627 total Internal Findings. The number of Repeat Internal Audit Findings totaled 32 in FY 2013 – FY2016, dealing with materials and supplies management (16 findings), fixed asset inventories (6 findings), promotional expense documentation and authorization (5 findings), MBE subcontractors reporting and compliance reviews (2 findings), and one finding each on the COMAR competitive bid process, overtime approvals not being documented and improper auto title lien documentation.
The materials and supplies management repeat audit findings include such items as segregation of duties, access to storeroom, non-signed receipts, perpetual inventory records not being accurate, documentation issues and inventory turning over less than three times per year.
Thirteen of thirty-two Repeat Internal Audit Findings have been resolved. Of the remaining unresolved nineteen Repeat Internal Audit Findings, thirteen are FY 2016 findings which are unresolved as the Audit staff have not confirmed implementation of the changes. The remaining six items are three findings repeated in both FY 2013 and FY 2015 which are scheduled to be resolved Spring 2017.
0
2
4
6
8
10
12
14
16
18
20
-60% -40% -20% 0% 20% 40% 60%
Number
of
Bids
Percent Change from Estimated Cost to Final Contract Amount
Num
ber o
f Bid
s
43 44
Use Resources Wisely
PERFORMANCE MEASURE 2.11Number of Internal Audit Findings and Number of Repeat Internal Audit Findings
Trend in Total Internal Audit Findings for FY 2013 - FY 2016
Number of Total Internal Audit Findings by TBU for FY13-16
Number of Internal Audit Repeat Findings
Use Resources Wisely
PERFORMANCE MEASURE 2.11Number of Internal Audit Findings and Number of Repeat Internal Audit Findings
Number of Internal Audit Findings
510
33
0
51
14
2
2619
30
1
63
23
2
12
30
18
7
50
32
23
4
36
14
0
93
24
5
0
10
20
30
40
50
60
70
80
90
100
TSO SHA MDTA MTA MVA MAA MPA
FY2013 FY2014 FY2015 FY2016
NumberofInternalAuditFindings
47
95 95
8
257
93
32
0
50
100
150
200
250
300
TSO
SHA
MDTA MTA
MVA
MAA
MPA
2.11NumberofTotalInternalAuditFindingsbyTBUforFY13-16
0 0
7
0
1
0
1
0 0 0 0
1
2
00 0
3
0
2 2
00
6
3
0
4
0 00
1
2
3
4
5
6
7
8
MDTAFY2013 FY2014 FY2015 FY2016
2.11NumberofInternalAuditRepeatFindings
0 0
7
0
1
0
1
0 0 0 0
1
2
00 0
3
0
2 2
00
6
3
0
4
0 00
1
2
3
4
5
6
7
8
TSO
SHA
MDTA MTA
MVA
MAA
MPA
FY2013 FY2014 FY2015 FY2016
2.11NumberofInternalAuditRepeatFindings0 0
7
0
1
0
1
0 0 0 0
1
2
00 0
3
0
2 2
00
6
3
0
4
0 00
1
2
3
4
5
6
7
8
TSO
SHA
MDTA MTA
MVA
MAA
MPA
FY2013 FY2014 FY2015 FY2016
2.11NumberofInternalAuditRepeatFindings
0 0
7
0
1
0
1
0 0 0 0
1
2
00 0
3
0
2 2
00
6
3
0
4
0 00
1
2
3
4
5
6
7
8
TSO
SHA
MDTA MTA
MVA
MAA
MPA
FY2013 FY2014 FY2015 FY2016
2.11NumberofInternalAuditRepeatFindings
47
95 95
8
257
93
32
0
50
100
150
200
250
300
TSO
SHA
MDTA MTA
MVA
MAA
MPA
2.11NumberofTotalInternalAuditFindingsbyTBUforFY13-16
47
95 95
8
257
93
32
0
50
100
150
200
250
300
TSO
SHA
MDTA MTA
MVA
MAA
MPA
2.11NumberofTotalInternalAuditFindingsbyTBUforFY13-16
115
164 172
176
0
20
40
60
80
100
120
140
160
180
200
FY 2013 FY 2014 FY 2015 FY 2016
Trend in Total Internal Audit Findings for FY 2013 -‐ FY 2016
45 46
Use Resources WiselyUse Resources Wisely
TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office (TSO)
PERFORMANCE MEASURE DRIVER:Patrick Bradley Maryland Aviation Administration (MAA)
PURPOSE OF MEASURE:To monitor compliance with State and organizational operating processes and procedures each year by tracking the number of Legislative Repeat Audit Findings.
FREQUENCY:Annually (in January)
DATA COLLECTION METHODOLOGY:Information collected from TBU audit databases.
NATIONAL BENCHMARK:N/A
PERFORMANCE MEASURE 2.12Number of Legislative Repeat Audit FindingsTransparent, informative, and accurate financial reporting is essential for our customers to have confidence in MDOT’s ability to manage resources. Legislative audits provide an external view of our current systems and areas for improvement.
The purpose of this performance measure is to track the number of Legislative Repeat Audit Findings. Data will be presented MDOT-wide in the number of legislative repeat audit findings on an annual basis. This will encourage MDOT and each TBU to avoid legislative repeat audit findings.
In FY2013-FY2015 there were five total Office of Legislative Audit (OLA) Repeat Audit Findings dealing with proper internal controls over items purchased not being maintained, access to fare collection equipment and money rooms not being controlled, a lack of access control to critical database security logs, a lack of files and transactions, a lack of controls over critical virtual servers, and the process for determining the propriety of architectural and engineering contract billings not being comprehensive.
The five Legislative Repeat Audit Findings occurred in FY 2013 – FY 2015 and have been resolved. There were zero Legislative Repeat Audit Findings in FY 2016.
Number of Legislative Repeat Audit Findings
PERFORMANCE MEASURE 2.12Number of Legislative Repeat Audit Findings
Number of OLA Audit Repeat Findings
1
3
1
00
1
2
3
4
5
FY2013 FY2014 FY2015 FY2016
MDOTTotal
NumberofLegisla0veRepeatAuditFindings
0
1
0 0 0 0 00 0
1
0
2
0 00 0 0
1
0 0 00 0 0 0 0 0 00
1
2
3
TSO SHA MDTA MTA MVA MAA MPAFY 2013 FY 2014 FY 2015 FY 2016
47 48
PERFORMANCE MEASURE 2.13Response to Fraud Hotline Complaints, including Response Time and Effective Resolution
Fraud Complaints Received by Type
37
1721
149
6022
233
413
238
0 10 20 30 40 50 60 70
Workplace ViolenceVendor Fraud
Vehicle/Equip AbuseTimesheet Issues
TheftProcurement Abuse
OtherManagerial Misconduct
HarassmentFraud/Ethical Concerns
Expense StatementDOT Violations
Discrimination/HiringCustomer Complaint
Conflict of Interest
Type of Complaint
Use Resources WiselyUse Resources Wisely
TANGIBLE RESULT DRIVER:Corey Stottlemyer The Secretary’s Office
PERFORMANCE MEASURE DRIVER:Steven Watson Office/Division
PURPOSE OF MEASURE:To track the number of fraud hotline complaints investigated by MDOT, as well as the time to respond and develop effective resolutions.
FREQUENCY:Quarterly
DATA COLLECTION METHODOLOGY:The TSO Office of Audits maintains a spreadsheet database tracking fraud hotline complaints by source and investigations still outstanding at the time of reporting.
NATIONAL BENCHMARK:N/A
PERFORMANCE MEASURE 2.13Response to Fraud Hotline Complaints, including Response Time and Effective Resolution
MDOT must be responsive to complaints from customers. This performance measure will track the number, response time, and effective resolution of fraud hotline complaints received or referred to MDOT.
Generally, fraud hotline complaints are received by MDOT through two sources – direct contact, or referral by the Office of Legislative Audits (OLA). OLA maintains a widely publicized fraud hotline phone number and receives many complaints. Direct contacts come via TBU hotlines, direct phone calls or letters.
During the period covered, MDOT received 209 complaints, of which 103 were referred by OLA. MVA maintains a hotline through which they received 88 complaints during the period. Some elements of the data requested of the TBUs was not previously collected making this first collection effort more challenging. Strategically working with the TBUs, the completeness and consistency of the data collected will improve.
Fraud Complaints Received by Source and TBU
3 50
6
14
4
35
2 2
4339 39
14 14
88 88
1
9 10
0 1 0 0 10
10
20
30
40
50
60
70
80
90
100
Phone OLA Hotline Other Total
TSO SHA MDTA MTA MVA MAA MPA